Renewable and Sustainable Energy Reviews 26 (2013) 515–520

Contents lists available at SciVerse ScienceDirect

Renewable and Sustainable Energy Reviews

journal homepage: www.elsevier.com/locate/rser

Review of small hydropower technology

David Kilama Okot n
Department of Physics, Faculty of Science, Mbarara University of Science and Technology, Uganda

art ic l e i nf o a b s t r a c t

Article history: This paper gives a review of small hydropower technology. A Small hydropower (SHP) plant uses impulse
Received 24 May 2012 or reaction turbines and is mainly ‘run-off-river'. SHP technologies currently used in generating
Received in revised form electricity for rural electrification in both developed and underdeveloped countries are helping to slow
23 April 2013
down climatic change, creating employment opportunities, and are having low maintenance costs (but
Accepted 7 May 2013
high capital costs).
& 2013 Elsevier Ltd. All rights reserved.
Keywords:
Hydropower
Small Hydro
Investment costs

Contents

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515
2. Small Hydro . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515
2.1. Small hydro site characteristics. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516
2.2. The principles of small hydropower . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517
2.3. Types of hydropower turbines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517
2.4. Investment costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519
3. Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520

1. Introduction potential still remains in underdeveloped countries [3]. Hydropower

project exists in a wide range of scale as well as types and the design is
Energy resources are grouped into three categories: fossil fuels, made to suit the needs and conditions at a particular site [3]. Small,
renewable resources and nuclear resources. Renewable energy mini and micro-hydro plants play a key role of rural electrification in
resources can be used to produce energy again and again, e.g. many countries [2,5] and they have greater capacity than all other
hydropower, solar energy, wind energy, biomass energy, geothermal renewable energy sources to make instant impact on the replacement
energy, etc. [1]. Hydropower currently represents worldwide a sig- of fossil fuels.
nificant source of electrical energy and compared to fossil and nuclear
fuel, hydro resources are widely distributed [2]. It contributes to one- 2. Small Hydro
fifth of the total power worldwide and in many countries it is the only
domestic source for electricity generation [3]. The 1997 report on Hydropower plants are of three types [4]:
survey by the International Journal on Hydropower and Dams
indicated that at least 50% and 90% of the national electricity in 63
Impoundment: this is a large hydropower system which uses a
and 23 countries respectively are sourced from hydro [2]. The role dam to store river water in reservoir. Water stored in the
hydro resource is playing in generating electricity is substantially reservoir is then used to generate electricity.
greater than that of any other renewable energy technology and vast
Diversion: a diversion facility channels a portion of a river
through a canal or penstock. This system may not require the
use of a dam.
n
Tel.: +256 774 266 377.
Run-of-river: the system uses water within the natural flow
E-mail address: OkotKilama@yahoo.com range and it requires little or no impoundment.

1364-0321/$ - see front matter & 2013 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.rser.2013.05.006
516 D.K. Okot / Renewable and Sustainable Energy Reviews 26 (2013) 515–520
In the 20th century, the development of hydroelectric power
involved the building of large dams. Huge artificial lakes were
created by placing massive barriers of concrete, rock and earth
across river valleys [2,5]. “While they created a major reliable
power supply plus irrigation and flood control benefits, the dams
necessarily flooded large areas of fertile land and displaced many
thousands of local inhabitants” [2,5]. The rapid silting up of the
dam reduces its productivity and lifetime. In addition, such major
interference with river flows can lead to several environmental
problems [2,5]. Table 2.1 gives detailed information on the
strengths and weaknesses of hydropower.
Small-scale hydro is mainly ‘run of river,’ so it involves
construction of a quite small dam or barrage, usually just a weir,
and generally little or no water is stored [7]. Civil works regulate
the water level at the intake to the power-plant [7]. In low
(5 m ohead o15 m) or medium (head 415 m) installations, a
canal carries the water to the forebay/settling tank. Generally for
low-head installations (head o 5 m), water enters the turbine
almost directly from the weir [2,5]. The size of a small hydropower
scheme is about 10 MW or less, although, most countries define
the scheme differently.
2.1. Small hydro site characteristics
Fig. 2.1 illustrates a typical run-of-river small hydro scheme.
The fundamental elements are the weir, the settling tank (the
forebay), the penstock and a small canal or “leat” [8]. Water is
diverted from the course (main river) through an intake at the
weir. The weir is a man-made barrier across the river which
regulates the water flow through the intake [7]. Before entering
the turbine, the particulate matter is removed by passing water
through a settling tank. Water is sufficiently slowed down in the
settling tank for the particulate matter to settle out. A protective
rack of metal bars (trash rack) is typically found near the forebay
to protect the turbines from damage by larger materials such as
Table 2.1
Advantages and disadvantages of hydropower option.
Advantages
Economic aspects

Has low operating and maintenance costs [3,5].

It is a long-lasting and robust technology; systems can last for 50–100 years or more
without major new investments [3,5].

A reliable source of energy [3,5].

Includes proven technology [3,5].

Promotes regional development [5].

Technology with highest efficiency [3,5].

Generates revenues to sustain other water [3].

Creates employment opportunities and saves fuel [3,5].
Social aspects

Improves standard of living [3,5].

Leaves water available for other uses [5].

Frequently provide flood protection [3,5].

May enhance navigation conditions [5].

Enhances recreation [3,5].

Enhances accessibility of the territory and its resources [3,5].
Environmental aspects

Produces no atmospheric pollutant and only very few GHG emissions [3,5,6].

No waste is produced [3,5].

Avoids depleting non-renewable fuel resources [3,5].

Creates new freshwater ecosystems with increased productivity [3,5].

Enhances skill development [3,5].

Slow down climate change [3,5].
stones, timber, leaves and man-made litter that may be found in
the stream [7].
A pressure pipe, called penstock, conveys the water from the
forebay to the turbine [7,8]. All installations require a valve (sluice
gate) at the top of the penstock which can be closed when the
turbine is to be shut down and emptied of water for maintenance.
When the sluice gate is closed, a canal known as the spillway is
used to divert water back to the river [7].
The head is the vertical distance that water falls. It may be
influenced by the characteristics of the channel or pipe through
which the water flows [9,10]. It is usually measured in metres or
units of pressure. “Most small hydropower sites are categorised as
low or high head” [9,10]. In the determination of head, both the
gross head (i.e. the vertical distance between the top of the
penstock that conveys the water under pressure and the point
where the water discharges from the turbine) and net head are
considered [10]. Net head ðHÞ is the difference between gross head
Fig 2.1. Typical small hydro site layout [8]. (Singal S.K., Saini R.P. and Raghuvanshi C.
S. (2010). Analysis for cost estimation of low head run-of-river small hydropower
schemes. Energy for Sustainable Development 14, 117–126).
Disadvantages

High capital cost [3,5].

Requires multidisciplinary involvement [5].

Precipitation [3,5].

Long-term planning is required [3,5].

Long-term agreement is required [3,5].

Requires out sourcing of contractors and funding [3,5].

May lead to resettlement [3,5].

Limits navigation [3,5].

Damming of large area reduce public access to some areas. This affects
outdoor recreation activities [6].

Requires checking of waterborne disease vectors [3,5].

The power lines can change the land scape [6].

Management of competing water uses is needed [3,5].

Barriers for fish migration and fish entrainment.

Involve modification of aquatic habitats [3,5].

Requires management of water quality [5].

The methyl mercury introduction into the food chain requires close
monitoring/management [3,5].

The populations may need to be monitored [3,5].

Damming areas rich in biodiverse flora results in carbon emissions [6].
 D.K. Okot / Renewable and Sustainable Energy Reviews 26 (2013) 515–520
ðH g Þ and losses due to friction, turbulences in the piping ðΔH AB Þ
[9,10] and the energy required for the water to exit the plant.
H ¼ H g −ΔH AB
Small hydro systems with a change in elevation of less than 5 m
are referred to as low head systems. However, if the vertical drop is
less than 2 m, a small-scale hydroelectric system will probably be
unfeasible. A plant with a higher head requires less flow than a low
head plant in order to generate the same amount of electricity [10].
2.2. The principles of small hydropower
Fig. 2.2 shows components of a hydropower scheme. “The basic
hydropower principle is based on the conversion of a large part of
the gross head, H g ðmÞ (i.e. net head, HðmÞ) into mechanical and
electrical energy” [9]. Figs. 2.3, 2.5, 2.6 and 2.7 show respectively
typical Pelton, propeller, Francis and Archimedes screw turbine.
Water pressure is converted by hydro turbines into mechanical
shaft power. The mechanical shaft power can be used to drive an
electrical generator or other machinery [2]. The available power is
directly proportional to the product of pressure head and
volume flow rate [2,8]. Generally, the hydraulic power P 0 ðkWÞ
and the corresponding energy E0 ðkWhÞ over an interval of time
ΔtðhÞ are [9]
P 0 ¼ ρgQ H
E0 ¼ ρgQ H Δt
−3
where ρ and g are the density of water (kgm ) and acceleration
due to gravity (ms−2) respectively. The final power, P delivered to
the network is smaller than P 0 . The power output of any hydro-
power plant is given by:
Reservoir
Hydraulic grade line
Singular loss
(curves, bends and valves)
Net
head
Conveyance system
(H )
(low pressure pipe and penstock)
Turbine
Tailrace
Fig. 2.2. Components of a hydropower scheme [9].
Fig. 2.3. Typical Pelton turbine [11]. (Southeast Power Engineering Ltd Website:
http://sepengineering.com/. Accessed on May 26, 2013).
517
P ¼ ηP 0 ð2:4Þ
where η is the hydraulic efficiency of the turbo-generator.
ð2:1Þ Hydro is still the most efficient way to generate electricity. Modern
hydro turbines are capable of converting up to 90% of the available
energy into electricity, [2,7] although this reduces with size [7]. Micro-
hydro systems tend to be in the range of 60–80% efficiency [7].
2.3. Types of hydropower turbines
Turbines used in hydroelectric systems have runners of differ-
ent shapes and sizes [11]. There are two main categories of hydro
turbines in use: impulse and reaction turbines. The selection of
any type of hydropower turbine for a project is based on the head
and the flow or volume of water at the site. However, other
deciding factors include how deep the turbine must be set,
efficiency and cost [4].
Impulse Turbine: the impulse turbine uses the kinetic energy of
water to drive the runner and discharges to atmospheric pressure [4].
The runner of impulse turbines operates in air and is moved by jets of
water; “the water remains at atmospheric pressure before and after
making contact with the runner blades” [8]. Water that falls into the
tail water after striking the buckets has little energy remaining, thus
the turbine has light casing that serves the purpose of preventing the
surroundings against water splashing [12]. An impulse turbine is
usually applied in systems with high head and low flow. There are
ð2:2Þ three common types of impulse turbines: the Pelton, the Cross-flow
and Turgo [4].
ð2:3Þ

Pelton: this form of turbine has a wheel containing a series of
split buckets (vanes) set around its rim. A jet of high pressure
water is directed tangentially at the wheel thereby hitting each
bucket individually. The jet is split in half and each half is
turned and deflected back almost through 1801 [8]. The jets are
issued through nozzles, each with an axis in the plane of the
runner and a needle (or spear) valve to control the flow. To stop
the turbine, in case the turbine approaches the runaway speed
due to load rejection, the jet is deflected by a plate so that it
Gross head does not impinge on the buckets. In this way the needle valve is
(Hg) closed very slowly thus keeping the overpressure surge in the
pipeline to an acceptable minimum. The kinetic energy of
water leaving the runner is lost and so the buckets are designed
V to keep exit velocities to a minimum [12]. This turbine does not
require draft tubes since the runner are positioned above the
maximum tail water to permit operation at atmospheric
pressure [4]. Pelton turbines are usually applied in systems
with large water heads [11]. Fig. 2.4 shows the head-flow
Fig. 2.4. Head-flow ranges of small hydro turbines [8].
518 D.K. Okot / Renewable and Sustainable Energy Reviews 26 (2013) 515–520
ranges of different small hydro turbines. Unlike the Francis
turbine, Pelton and cross flow turbines can operate at high
efficiencies even when running below their design flow.

Cross-flow: the cross flow (or Banki) turbine has a drum-like
rotor and uses an elongated, rectangular-section nozzle which
is directed against curved vanes on a cylindrically shaped
runner [4]. Cross-flow turbines are less efficient than the
modern-day turbines (i.e. Pelton, Turgo, Francis and Kaplan),
but it can accommodate larger water flows and lower
heads [12]. A jet of water enters the turbine, thus gets directed
through the guide-vanes at a transition piece upstream on the
runner which is built from two or more parallel disks con-
nected near their rims by a series of curved blades. The flow is
directed to a limited portion of the runner by the guide vane at
the entrance to the turbine [4]. The turbine allows water to
flow twice through the blades. In the first stage water flows
from the outside of the blades to the inside; in the second stage
the water passes from the inside back out. The flow leaves the
first stage attempts to cross the open centre of the turbine but
as the flow enters the second stage, a compromise direction is
achieved which causes significant shock losses [4,8,12].

Turgo: this turbine is similar to the Pelton, but with different
shape of the buckets [12] and the jet strikes the plane of the
runner at an angle (typically 201) [8,12]. The jet of water enters
the runner through one side and exits through the other side.
Unlike a Pelton turbine, the flow rate through a Turgo turbine is
not limited by the discharged fluid interfering with the incom-
ing jet [8,12]. Consequently, a Turgo turbine can have a smaller
diameter runner compared to that of a Pelton turbine with an
equivalent power output [8]. A Turgo turbine has a higher
running speed which makes a direct coupling of turbine and
generator more likely, thus increasing the overall efficiency and
decreasing maintenance [12]. Turgo turbines operate effectively
in systems with large water heads (see Fig. 2.4).
Reaction turbine: this turbine generates electricity from the
mutual action of pressure and by moving water [4]. The reaction
turbine operates when the rotor is fully submerged in water and is
enclosed in a pressure casing. “The runner blades are profiled so
that pressure differences across them impose lift forces, akin to
those on aircraft wings, which cause the runner to rotate”. [8].
Reaction turbines are generally appropriate for sites with lower
head and higher flows compared with the impulse turbines [4].
Typical Reaction turbine types are Propeller, Francis and Kinetic.
Figs. 2.5–2.7.
Fig. 2.5. Typical propeller turbine [11]. (Southeast Power Engineering Ltd Website: http://sepengineering.com/. Accessed on May 26, 2013).

Propeller: a propeller turbine generally has an axial flow
runner with three to six blades depending on the designed
water head. For higher efficiency the water needs to be given
some swirl before entering the turbine runner [4,8,11]. Propel-
ler turbines are suitable for systems with low water heads
[11,13]. There are several different types of propeller turbines:
bulb turbine, Kaplan, Straflo and tube turbine [8]. “The Kaplan
turbine has adjustable blade pitch and it can achieve high
efficiency under varying power output conditions” [11]. The
methods used for adding inlet swirl include fixed guide vanes
mounted upstream of the runner and a “snail shell” housing for
the runner, in which the water enters tangentially and is forced
to spiral in to the runner. In the case of the Kaplan turbine, the
blades of the runner are adjusted. Adjustment of the turbine
blades and guide vanes can greatly improve efficiency over a
wide range of flows; however it is costly and so can only be
economical in larger systems [8]. The unregulated propeller
turbines are commonly used in micro-hydro systems where
both the flow and head remain practically constant [12].

Francis: this is the most common type of hydropower turbine
in use [1]. This turbine generally has radial or mixed radial/
axial flow runner which is most commonly mounted in a spiral
casing with internal adjustable guide vanes. Water flows
radially inwards into the runner and emerges axially, causing
it to spin. In addition to the runner, the other major compo-
nents include the wicket gates and draft tube [4,8]. The runners
with smaller diameter are made of aluminium bronze casting,
while the larger runners are fabricated from curved stainless
steel plates that are welded to cast steel hub [12]. Francis
turbines are applied in hydroelectric systems with medium
head size and their efficiency can be above 90% [11] but tend to
Fig. 2.6. Typical Francis turbine [11]. (Southeast Power Engineering Ltd Website:
http://sepengineering.com/. Accessed on May 26, 2013).
 D.K. Okot / Renewable and Sustainable Energy Reviews 26 (2013) 515–520
Fig. 2.7. Archimedes screw [14].
be less efficient when there is less water available than their
designed flow [13]. For smaller heads and power, the turbine is
set in an open flume. However, the turbine can also be attached
to a penstock and steel spiral casings is used in cases of
relatively higher heads [12].

Kinetic/ free-flow: kinetic turbines produce power from the
kinetic energy of the flowing water rather than the potential
energy from the head [8]. The systems can be used to generate
electricity from rivers, man-made channels, tidal waters, or
ocean currents. Kinetic systems utilise the water stream's
natural pathway, so they do not require diversion of water
through manmade channels, riverbeds, or pipes. However, they
can be applied in such conduits [4,8].

Archimedes screw: Archimedes screw is manufactured as
bespoke installation. The parameter of a specific hydro site
determines the length (which increases as the head increases)
and diameter (which increases with increase in design flow)
of the turbine. Depending on the cost, the choice of design
of Archimedes screw for a particular site includes steel
trough closed compact and open compact [14]. With an Archi-
medes screw, water falls through the screw and turns it. The
turning screw turns the gear box and the generator so that
electricity can be produced [13]. Archimedes screw is excellent
for hydroelectric systems with low heads (2–10 m) and large
flow. The advantages of the Archimedes screw over the conven-
tional turbines include: lower installation cost compared with
the propeller or cross-flow turbines; require very little screening
of fish, floating objects and debris which pass through it; low
maintenance cost and the water it uses to generate the elec-
tricity can be seen unlike almost all the other turbines [13].
2.4. Investment costs
The cost of installing hydro power plants varies from place to
place. It depends on the existing infrastructures [13] and the
installation capacity. Generally equipment for a low head plant
of a given output is higher than that of a higher head plant with
the same output [13]. The low output equipment is also costly [15].
Investment cost is divided into direct and indirect costs.

Direct costs comprise: civil, electro-mechanical equipment and
power transmission line costs [16].
J Civil costs includes the construction and hydro structural
costs as well as dam conveyance of water system, penstock
structure, a head pond, the forebay, the power house,
tailrace structure, the access and any future unpredicted
costs [16,17]. No standard cost unit is given to the civil work.
The cost varies with sites depending on the topography and
the geology, and the construction method applied and the
materials used [15].
519
J Electro-mechanical costs include costs met on turbines,
generators, governors, gates, control systems, a power sub-
station, electrical and mechanical auxiliary equipment, etc.
[16,17]. The electro-mechanical equipment cost accounts for
about 30–40% of the total small hydropower plant budget
[18]. The cost of electo-mechanical equipment can also be
determined using the power, P and the net head, H of the
small hydro-power plant from Eq. 2.1 [18].
Cost ¼ aP b−1 H c ð€=kWÞ ð2:1Þ
where, a, b and c are coefficients that depend on the geogra-
phical, space or time field where they are being used.
J Power transmission line costs include costs met in con-
struction of power transmission line for delivery of energy
produced from the hydropower plant to power transmission
network. This is mainly determined by the location, type of
the system inexistence (i.e. overhead or cable system) and
the size of the small hydropower plant and how long the
transmission line is [16,17].

Indirect costs are engineering and design (ED), supervision and
administration (SA) as well as inflation costs at period of
construction [16,17]. However, ED depends on type; size as
well as location of the plant site, as SA (i.e. expenditures on
land, management, inspection and supervision) it is also
calculated as a percentage of the construction cost [16,17].
Generally, the operation and maintenance costs without major
replacements are estimated to be between 3–4% of the capital
cost [15]. Hydro-power plants have got high capital costs but
low maintenance costs [19]. Based on the Austrian shilling, it
was derived that for plants with capacities less than 2 MW and
having heads lower than 15 m, the total costs of developing
hydro-power plant or renovating it can be obtained from
Equation 2.2 [19].
 
P y
Total Cost ¼ C  0:3
ð2:2Þ
H
where, both y and C are constants, P is the plant capacity, H is the
designed head and the total cost is in Austrian shilling.
3. Conclusion
Small Hydropower technology is one of the most common
technologies used for electricity generation for rural population in
both developed and developing countries. Inclusion of the remains
of this resource in the energy mixes could lead to sustainable
development. However, further development of this technology
520 D.K. Okot / Renewable and Sustainable Energy Reviews 26 (2013) 515–520
may be limited by the social, political, economic, historical,
regulatory and environmental issues.
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